spatial planning.e

8/8/2019 Spatial Planning.e

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ECONOMIC COMMISSION FOR EUROPE

Geneva

SPATIAL PLANNINGKey Instrument for Development

and Effective Governance

with Special Reference to Countries in Transition

UNITED NATIONS

New York and Geneva, 2008


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CONTENTS

Page

Foreword ........................................................................................................................................ v

Preface ........................................................................................................................................... vi

Executive summary ..................................................................................................................... vii

1. Introduction to spatial planning.................................................................................. 1 - 6

1.1 What is spatial planning? .................................................................................................... 1

1.2 Why is spatial planning important? ..................................................................................... 1

1.3 The case of countries in transition....................................................................................... 2

1.4 The political context for planning ....................................................................................... 4

1.5 Spatial planning terminology............................................................................................... 51.6 Summary.............................................................................................................................. 5

2. Challenges and goals for spatial planning............................................................... 7 10

2.1 Challenges for spatial planning ........................................................................................... 7

2.2 Common requirements for spatial planning systems........................................................... 8

2.3 Overarching goals of spatial planning................................................................................. 9

2.4 Summary.............................................................................................................................. 9

3. Principles of spatial planning .................................................................................11 - 13

3.1 The democratic principle ................................................................................................... 11

3.2 The subsidiarity principle .................................................................................................. 11

3.3 The participation principle................................................................................................. 11

3.4 The integration principle ................................................................................................... 12

3.5 The proportionality principle............................................................................................. 12

3.6 The precautionary principle............................................................................................... 12

4. Roles and responsibilities ........................................................................................ 15 18

4.1 The allocation of competences .......................................................................................... 15

4.2 The national level .............................................................................................................. 15

4.3 The regional (subnational) level ........................................................................................ 16

4.4 The local level.................................................................................................................... 174.5 Special agencies................................................................................................................. 17

4.6 Summary............................................................................................................................ 18

5. The system of spatial planning ...............................................................................19 - 30

5.1 Planning tools .................................................................................................................... 19

5.2 The legal framework.......................................................................................................... 19

5.3 Directives........................................................................................................................... 20

5.4 Policy statements ............................................................................................................... 20

5.5 Spatial strategies ................................................................................................................ 21

5.6 Spatial framework plans .................................................................................................... 22

5.7 Land-use regulation or development management............................................................ 245.8 Enforcement....................................................................................................................... 25

5.9 Environmental assessment................................................................................................. 26

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5.10 Economic instruments ....................................................................................................... 26

5.11 Evidence and monitoring................................................................................................... 27

5.12 Paying for spatial planning................................................................................................ 28

5.13 Supervision and probity..................................................................................................... 29

5.14 Summary............................................................................................................................ 30

6. Engaging stakeholders and protecting rights ....................................................... 31 35

6.1 Engaging stakeholders....................................................................................................... 31

6.2 Protecting rights................................................................................................................. 34

6.3 Summary............................................................................................................................ 35

7. Towards stronger and more effective spatial planning.........................................37 40

7.1 Encouraging debate ............................................................................................................37

7.2 The legal framework...........................................................................................................38

7.3 Administrative and informal actions ..................................................................................38

7.4 Political and professional development..............................................................................39

7.5 Guidance and guidelines for spatial planning.....................................................................39

7.6 Summary.............................................................................................................................40

References .................................................................................................................................... 41

Annex: Key spatial planning terms............................................................................................ 43

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FOREWORD

Over the past few decades, innovative approaches to spatial planning have spawned new ideas about

space and place as well as the role of spatial strategies in contemporary governance contexts.

This publication is a further contribution to raising awareness among the general public and politicians

about the importance of spatial planning. This study identifies the role and benefits of spatial planning,

the particular challenges vis--vis spatial planning that face countries in transition, its key principles,

the division of roles and responsibilities, the main stages in the process of developing spatial plans,

and finally, priority actions for countries in transition.

Spatial planning is largely a public sector function to influence the future spatial distribution of

activities. It aims to create a more rational territorial organization of land uses and the linkages

between them, to balance demands for development with the need to protect the environment, and to

achieve social and economic objectives. Spatial planning comprises measures to coordinate andimprove the spatial impacts of other sectoral policies so as to achieve a more even distribution of

economic development within a given territory than would otherwise be created by market forces.

Spatial planning is therefore an important lever for promoting sustainable development and improving

the quality of life.

Although this study refers specifically to countries in transition, it is intended as a reference for all

UNECE countries. Central governments, which are responsible for setting up spatial planning systems

and distributing responsibilities among the administrative levels, are the primary audience. At the

same time, however, recommendations related to practical aspects of the planning process are

addressed to local level audiences, as implementation is carried out mainly at this level.

I hope that this report will be useful to all UNECE countries by supporting policymakers and

representatives of civil society in improving spatial planning and its implementation as well as in

further promoting sutainable development at all levels, and that countries will benefit from lessons

learned from the experience of others.

Marek Belka

Executive Secretary

Economic Commission for Europe

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PREFACE

The United Nations Economic Commission for Europe (UNECE) Committee on Housing and Land

Management

decided to prepare a study on spatial planning with a particular focus on countries intransition. To start discussions on the contents of the study, the workshop Spatial Planning Systems:

Organization and Practice was held in Warsaw in 2005, organized by the Polish Ministry of

Infrastructure. In preparation for the Warsaw workshop, a survey questionnaire on spatial planning

systems in UNECE countries, developed by the delegation of Poland in cooperation with Professor

John Zetter (expert) and in consultation with the Bureau of the Committee on Housing and Land

Management, was distributed to the UNECE countries. Responses were received from Albania, the

Czech Republic, Georgia, Germany, Hungary, Ireland, Moldova, Poland, Sweden, Switzerland and

The former Yugoslav Republic of Macedonia. Additional papers on national planning systems were

received from Serbia and Montenegro, Spain and Norway.

As well as drawing on a wide variety of international sources on spatial planning, the study also drawson the discussions of the workshop and the questionnaire responses described above. It provides

guidance on how to improve the functioning of the spatial planning systems in the UNECE member

countries, particularly in the countries of Eastern Europe, Caucasus and Central Asia (EECCA) and

South-Eastern Europe (SEE), based on the experience of and practice in the more advanced economies

in the UNECE region. It focuses on enabling all actors in the public, private and community sectors to

work together and play an effective role in human settlements development at the local level. It also

builds on material related to UNECE activities.

This study was jointly prepared by Dr. Dominic Stead of Delft University of Technology, the

Netherlands, and Mr. Vincent Nadin of the University of the West of England, Bristol, United

Kingdom. A group of experts designated by the Committee, comprising Ms. Ruzan Alaverdyan

(Armenia), Ms. Maria Jose Festas (Portugal), Professor Adam Kowalewski (Poland), Ms. Janja

Kreitmayer McKenzie (Slovenia), Mr. Andre Mller (Germany), Mr. Juha Talvitie (Finland) and

Professor Zetter as Chair, provided inputs at various stages of the drafting process.

The study draws primarily (but not exclusively) on experiences in Western and Eastern Europe, where

the concept of spatial planning has been in use in various forms for some time. Countries in transition

that can learn from these practices will nevertheless need to develop systems that are appropriate for

their own social, economic and cultural environments. These guidelines aim to help them find ways to

achieve this.

Former Committee on Human Settlements.

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EXECUTIVE SUMMARY

Spatial planning is a key instrument for establishing long-term, sustainable frameworks for social,

territorial and economic development both within and between countries. Its primary role is to

enhance the integration between sectors such as housing, transport, energy and industry, and to

improve national and local systems of urban and rural development, also taking into account

environmental considerations. This study on spatial planning is an overview document that draws the

attention of policymakers to the importance of spatial planning. It also aims at raising awareness of the

importance of increased community involvement and social cohesion as well as of the role of all

parties concerned in territorial development in the implementation of housing and related policies and

in environmental protection.

The study puts emphasis on the need to establish a shared vision and consistent direction for spatial

development based on the efficient use of resources, good governance, public-private partnerships,

and effective decision-making with regard to investments. While the document is intended for a pan-European audience, it pays special attention to the requirements and challenges faced by countries in

transition. Due to the variations in political, cultural and economic conditions between UNECE

member States, a single universal approach to spatial planning is not recommended. The study should

thus be viewed as a resource that must be adapted to suit the needs of the country in question.

Spatial planning has a regulatory and a development function. As a regulatory mechanism,

government (at local, regional and/or national levels) has to give approval for given activity; as a

development mechanism, government has to elaborate upon development tools for providing services

and infrastructure, for establishing directions for urban development, for preserving national

resources, and for establishing incentives for investment, etc.

Spatial planning aims to:

(a) Promote territorial cohesion through a more balanced social and economic development of

regions, and improved competitiveness;

(b) Encourage development generated by urban functions and improve the relationship between the

town and countryside;

(c) Promote more balanced accessibility;

(d) Develop access to information and knowledge;

(e) Reduce environmental damage;

(f) Enhance and protect natural resources and natural heritage;

(g) Enhance cultural heritage as a factor for development;(h) Develop energy resources while maintaining safety;

(i Encourage high-quality, sustainable tourism;

(j) Limit the impact of natural disasters.

Effective spatial planning also helps to avoid the duplication of efforts by actors such as government

departments, commercial developers, communities and individuals. This is of great importance, as

many of the above issues are of a cross-sectoral nature and therefore should be treated as such. Spatial

planning is a public sector activity at all levels. Hence a clear distribution of responsibilities is needed

between the different levels of administration.

At the national level, Governments are responsible for developing framework policies that both

initiate and guide the decision-making process, setting the conditions for the operation of effective

planning at regional and local levels. Major tasks include the establishment of effective framework

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legislation, coordination with other sectors and between regions (including those that cross-national

boundaries), the monitoring of implementation of national guidelines and principles at the regional

and local levels, and the identification of bottlenecks in planning and implementation. National

authorities are also responsible for supporting regional and national authorities when implementing

national guidelines, in particular through capacity-building in terms of professional expertise and

political leadership.

The main task at the regional level is the preparation and coordination of an overall regional spatial

strategy by looking ahead 15 to 20 years at the overall development of the region. This should be done

in cooperation with regional and local stakeholders. Regional government also has the responsibility

of supporting local authorities by providing information on national and regional priorities,

designating protected areas, planning and delivering major infrastructural improvements, and

providing environmental assessment and appraisal of regionally significant plans and projects, as well

as supplying guidance and assistance to local authorities by creating local planning instruments.

Local-level spatial planning takes into account policies elaborated at both the national and regional

levels. Local plans are especially important because they involve and affect the end-user. Local

governments should prepare regulatory planning instruments, establish priorities for action, facilitate

the preparation of local spatial plans, coordinate planning with neighbourhood authorities, engage

with the community using participatory planning techniques, take proactive measures to encourage

development, and monitor the implementation of policies and proposals, e.g. by enforcing adherence

to specific planning legislation.

Many countries have recently made fundamental reforms to the body of planning law to enable

changes in the elaboration and operation of their planning systems. In some countries, however,

planning statutes have not kept pace with the reality of spatial development. The problem is usually

not a lack of legislation, but rather that the legislation is no longer relevant.

In other cases, reform in planning law has not been a high priority. In these cases, effective spatial

development at all levels has yet not been implemented, as the legal basis has not been put in place to

facilitate the planning process. This includes provisions that require cooperation among planning

authorities to address sectoral interests to ensure consistency in the decision-making process. Where

planning reform has taken place, it is generally targeted at shifting the focus from physical land-use

regulation to an integrative spatial planning approach.

The implementation of effective spatial planning depends upon the development of relevant laws,

policies, guidance, procedures and incentives. Implementation requires that both short-term

considerations and constraints be taken into account, and that the work is guided by a long-termvision. Most countries have rigidly defined departments that pursue individual agendas, making it

difficult to have an interdisciplinary approach to implementation.

Clear legislation and funding policies and improved organizational infrastructure are critical, as

experience has shown that these issues are frequently more complex to solve than technical issues.

High-level support for developing these plans is essential to ensure the effectiveness of the policies

when implemented and regulated at the local level.

Identifying and engaging the whole range of stakeholders is crucial. Stakeholders can include those

directly involved in the decision-making process, such as local authorities (politicians and officers),

other tiers of government, and industry and private investors, but should also include community

representatives and non-governmental organizations (NGOs). In order to be more socially inclusive, it

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is often necessary to redress the balance of public involvement in order to hear the views of people

and groups that have been traditionally under-represented.

Skilled spatial planners should have the ability to engage actors at all levels of development:

(a) Participation: engaging actors in reciprocal relationships of communications;

(b) Consultation: delivering expert advice for the purpose of drawing conclusions;

(c) Representation: acting on behalf of one or more groups of actors in an effort to represent both

ideas and individuals;

(d) Appeal: acting as advocates for collective decision-making and for the improvement of the

affected community.

An important factor in the success or failure of spatial planning is the quality of its management.

Management is concerned with organization and coordination, policy and planning, and the

monitoring of relevant projects. It is also concerned with listening, analysing, decision-making, and

communicating ideas that may be misunderstood. Without management capacities, information and

communication gaps can persist between representatives dealing with policy framework and local-level implementers. A relative shortage of qualified experts, particularly in the EECCA countries,

makes the delivery of such projects difficult at times.

Effective local programme management must be responsible for the following:

(a) Leading the planning process as it relates to sustainability appraisal;

(b) Overseeing the process of community involvement;

(c) Influencing the strategic allocation of public and private investments;

(d) Negotiating with stakeholders and external agencies;

(e) Reviewing progress against the agreed timetable.

Qualified planners should be aware of the importance of integrated spatial planning techniques in

implementing policy that represents the interests and realities of all stakeholders with a high degree of

objectivity and transparency. Planning authorities should have a good understanding of how to involve

local communities in the planning process and how to benefit from their knowledge and expertise. The

ability to streamline the planning process is also key because it reinforces that transparent and multi-

level spatial planning is an effective tool for development.

Spatial planning must operate in conjunction with land registration, since it involves measures that

create new subdivisions of the land and new patterns of land use. Failure to identify existing patterns

and rights of ownership frequently leads to delays or even failure in development programmes,

especially in urban areas. There must be legally defined procedures for the compulsory acquisition andreallocation of land rights, as well as appeals mechanisms that will ensure public confidence that the

security of their titles can be upheld.

Well-executed spatial planning strategies support a sustainable model of development in communities.

The initial costs of planning are easily offset by improved efficiency, integrated financial strategies

and reduced operating costs.

In summary, spatial planning in itself will not result in improvement of a particular community.

Rather, the collective will of all stakeholders, combined with the establishment of a credible

framework for action, will facilitate a transparent and achievable net change that will both improve the

community in question and serve other communities and higher levels of government.

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1. INTRODUCTION TO SPATIAL PLANNING

This chapter explains the role of spatial planning in an open and democratic society and identifies the

potential economic, social and environmental advantages of strengthening spatial planning in

government. It highlights the particular importance of spatial planning for UNECE countries in

transition and summarizes the global political context for spatial planning.

1.1 What is spatial planning?

Spatial planning is concerned with the problem of coordination or integration of the spatial

dimension of sectoral policies through a territorially-based strategy (Cullingworth and Nadin, 2006:

91). More complex than simple land-use regulation, it addresses the tensions and contradictions

among sectoral policies, for example for conflicts between economic development, environmental and

social cohesion policies. The key role of spatial planning is to promote a more rational arrangement of

activities and to reconcile competing policy goals. The scope of spatial planning differs greatly fromone country to another, but most share a number of similarities. In almost all countries, spatial

planning is concerned with identifying long- or medium-term objectives and strategies for territories,

dealing with land use and physical development as a distinct sector of government activity, and

coordinating sectoral policies such as transport, agriculture and environment (Koresawa and Konvitz,

2001).

Various definitions of spatial planning exist. For example, the Compendium of European Spatial

Planning defines spatial planning as methods used largely by the public sector to influence the future

distribution of activities in space (European Commission, 1997). The Compendium states that spatial

planning is undertaken with the aims of creating a more rational territorial organization of land uses

and the linkages between them, to balance demands for development with the need to protect theenvironment and to achieve social and economic development objectives. It embraces measures to

coordinate the spatial impacts of other sectoral policies to achieve a more even distribution of

economic development between regions than would otherwise be created by market forces, and to

regulate the conversion of land and property uses.

In the United Kingdom, the Government defines spatial planning as going beyond traditional land-use

planning to integrate policies for the development and use of land with the other policies and

programmes that influence both the nature and function of places. This includes policies that can

impact on land use but which are not capable of being delivered solely or mainly through the granting

or refusal of planning permission and which may be implemented by other means (United KingdomOffice of the Deputy Prime Minister, 2005). In Slovenia, spatial planning is defined in the 2002

Spatial Planning Act as an interdisciplinary activity involving planning land use, determining the

conditions for the development and location of activities, identifying measures for improving the

existing physical structures and determining the conditions for the location and execution of planned

physical structures (Slovenian Ministry of the Environment, Spatial Planning and Energy, 2002).

1.2 Why is spatial planning important?

Spatial planning is critical for delivering economic, social and environmental benefits (see Box 1) by

creating more stable and predictable conditions for investment and development, by securing

community benefits from development, and by promoting prudent use of land and natural resourcesfor development. Spatial planning is thus an important lever for promoting sustainable development

and improving quality of life. This is becoming increasingly recognized in international policy

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documents (see section 1.4). The growing commitment to sustainable development in many countries

and the increasing interest in spatial planning systems and policies means that there is currently

considerable opportunity to reshape and strengthen spatial planning systems across UNECE countries.

Some countries have already made progress in introducing new spatial planning systems but there is

still considerable scope for further improvement.

Box 1: The benefits of spatial planning

Economic benefits:

Providing more stability and confidence for investment;

Identifying land in appropriate locations to meet the need for economic development;

Ensuring that land for development is well placed in relation to the transport network and the labour force;

Promoting environmental quality in both urban and rural areas, which can then create more favourable conditionsfor investment and development;

Identifying development that meets the needs of local communities;

Promoting regeneration and renewal;

Making decisions in a more efficient and consistent way.

Social benefits: Considering the needs of the local communities in policy development;

Improving accessibility when considering the location of new development;

Supporting the provision of local facilities where they are lacking;

Promoting the re-use of vacant and derelict land, particularly where it has a negative impact on quality of life andeconomic development potential; and

Aiding the creation and maintenance of pleasant, healthy and safe environments.

Environmental benefits:

Promoting regeneration and the appropriate use of land, buildings and infrastructure;

Promoting the use of previously developed (brownfield) land and minimizing development on greenfield land;

Conserving important environmental, historic and cultural assets;

Addressing potential environmental risks (e.g. flooding, air quality);

Protecting and enhancing areas for recreation and natural heritage;

Promoting access to developments by all modes of transport (e.g. walking, cycling and public transport), not just bycar;

Encouraging energy efficiency in the layout and design of development.

Spatial planning has a key role in providing a long-term framework for development and coordinating

policies across sectors. It can provide a vision and common direction for policies and programmes and

identify priorities for policy, it can help to avoid duplication of effort by different departments and

spheres of government and can assist in the coordination of sectoral policies. Spatial planning can also

help to promote economic growth and investment while guiding the policies for protecting the

environment and promoting more efficient use of resources.

1.3 The case of countries in transition

The need for spatial planning is particularly important in countries in transition. Due to rapid growth

in the development of residential areas and industrial areas, the demands upon infrastructure in many

UNECE countries in transition have been too great. The rate of urbanization is increasing in UNECE

countries in Europe and is expected to continue to increase for the foreseeable future. For example, in

2000, 73 per cent of the population of UNECE countries in Europe were living in urban areas; by

2020, it is forecast that 77 per cent of the population in these countries will be living in urban areas

(UNECE, 2005).

In most countries in South-Eastern Europe, approximately half of the housing stock has been built

since 1970 but most municipalities in these countries have no physical or spatial plans (Tsenkova,2005). Where plans do exist in these countries, many of them are out of date or simply have neither

anticipated such levels of growth nor identified sufficient land for the amount of development that has

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recently taken place. This situation contributes to the reluctance of businesses to locate or invest in

these areas. In addition, the illegal development of land, often in areas unsuited for development, is a

common by-product of unclear planning legislation. In Skopje, for example, there are 27 illegally

constructed neighbourhoods; some 146,000 buildings have been illegally constructed in Belgrade; and

more than 45 per cent of the population of Tirana lives in informal settlements on the outskirts of the

city. The lack of spatial policies, plans and enforcement also contributes to corrupt practices and adhoc decision-making in the development approval process.

The following eight points summarized below (Box 2) outline the main reasons spatial planning is

widely applicable to most countries, and particularly to UNECE countries in transition.

Box 2: Reasons for spatial planning

1. To provide vision and consistent direction, as well as a strategic assessment not only of what is desirable, butwhat is possible in various contexts.

2. To protect the rights of people. Once people gain access to land, in effect they obtain certain rights andobligations. It is necessary to manage change in such a way that those rights and obligations are respected.

3. To protect natural systems. Natural systems have their own operational requirements which must be respected iflong-term sustainable human development is to be achieved and if large-scale environment degradation is to beavoided or at least minimized;

4. To make efficient use of resources. Resources, such as land, water, energy, finance, building materials, skills,etc. are in short supply. Those that are available must, in all contexts, be used wisely to ensure that maximumbenefit is obtained from them.

5. To achieve a higher quality of service delivery by all spheres of government.6. To coordinate actions and investments to ensure maximum positive impact from the investment of resources, it is

necessary to coordinate actions and investments in time and space. This coordination is of two kinds: thecoordination of different forms of public authority actions and investments, and a greater coordination betweenpublic and private actions;

7. To set priorities. To enable significant inroads to be made into meeting the developmental needs of the country ina fair way, it is necessary to provide a rational basis for prioritization, and to manage and direct resources towhere they are needed most.

8. To avoid duplication of effort by different departments and spheres of government.

Source: South African National Development and Planning Commission, 1999

Employment conditions have also changed dramatically in many UNECE countries in transition in

recent decades. While agriculture and the manufacturing industry remain important sectors of the

economy in most of these countries, the share of employment in these sectors has decreased in many

cases. The share of employment in the service sector, on the other hand, has increased rapidly. In

many countries in Central and Eastern Europe, the share of employment in the service sector is now

around 60 per cent, which is approaching the same situation as in western economies (UNECE, 2005).

These shifts in employment have led to some profound changes in the territorial development of

countries, patterns of employment and commuting and in the structure and performance of nationaleconomies.

The UNECE region continues to face significant local, transboundary and international environmental

problems (UNECE, 2003). These include emissions of greenhouse gases, air and water pollution, loss

of biodiversity, increased waste generation, technological hazards and risks to human health caused by

harmful chemicals. Despite progress in some of these areas, such as the reduction in emissions of

some air pollutants and the decoupling of economic growth and energy consumption, more effective

measures are needed to protect the environment and human health. Environmental conditions within

human settlements have become a central concern due to strong links between economic growth,

poverty and the environment. Transition countries are facing the consequences of air, soil and water

pollution due to the use of outdated industrial technologies and the lack of consistent environmentalpolicies. In the Eastern Europe, Caucasus and Central Asia (EECCA), the existence of contaminated



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sites continues to be a threat to the environment (UNECE, 2003). Spatial planning provides a means of

addressing these problems.

Since the abandonment of centrally planned systems of economic and territorial development in most

UNECE countries in transition, spatial planning has become a neglected issue (UNECE, 2000). In

recent years, many of these countries have made progress in developing new urban and spatial

planning legislation and institutional structures, although the legal frameworks and institutionalconditions are still incomplete. Appropriate, contemporary systems of spatial planning are needed in

the majority of these countries, as the non-coordination of policy can result in substantial unnecessary

costs (see, for example, Robert et al, 2001).

1.4 The political context for spatial planning

The importance of spatial planning in the process of urban development has been recognised in policy

documents for several decades. As long ago as 1976, the Vancouver Declaration on Human

Settlements, adopted at the United Nations Conference on Human Settlements (also known as the

Habitat I Conference), identified the central role of spatial planning for future urban development,

stating that:

It is the responsibility of Governments to prepare spatial strategy plans and adopt human

settlement policies to guide the socio-economic development efforts. Such policies must be an

essential component of an overall development strategy, linking and harmonizing them with policies

on industrialization, agriculture, social welfare, and environmental and cultural preservation so that

each supports the other in a progressive improvement in well-being of all mankind. A human

settlement policy must seek harmonious integration or coordination of a wide variety of components,

including, for example, population growth and distribution, employment, shelter, land use,

infrastructure and services. Governments must create mechanisms and institutions to develop and

implement such a policy.

The European Regional/Spatial Planning Charter (the Torremolinos Charter), was adopted in 1983

by the European Conference of Ministers responsible for Regional Planning (CEMAT). It defined the

scope of spatial planning and identified its key objectives and activities. The main activities according

to the charter include coordination between different policy sectors, coordination and cooperation

between the various levels of decision-making, and the promotion of public participation.

The Agenda 21 action plan, adopted by more than 178 Governments at the United Nations Conference

on Environment and Development (UNCED) in 1992, devotes a whole chapter to the planning and

management of land resources (chapter 10). The text recognizes that expanding human requirements

and economic activities are placing ever-increasing pressures on land resources, creating competitionand conflicts that result in suboptimal use of both land and land resources. The action plan asserts that

a more effective and efficient use of land and natural resources is required if future human

requirements are to be met in a sustainable manner. Integrated physical and land-use planning and

management are an eminently practical way to achieve this. The Agenda 21 action plan states that:

By examining all uses of land in an integrated manner, it makes it possible to minimize conflicts, to

make the most efficient trade-offs and to link social and economic development with environmental

protection and enhancement, thus helping to achieve the objectives of sustainable development. The

essence of the integrated approach finds expression in the coordination of the sectoral planning and

management activities concerned with the various aspects of land use and land resources.

The European Spatial Development Perspective (ESDP), which was agreed at the Informal Council of

Ministers meeting responsible for spatial planning in 1999, recognizes that spatial development



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policies can promote sustainable development through a balanced spatial structure. It calls for close

cooperation amongst the authorities responsible for sectoral policies, including with those responsible

for spatial development at each respective level (horizontal integration), and between actors at the

community level and the transnational, regional and local levels (vertical integration). According to

the ESDP, cooperation is the key to an integrated spatial development policy and represents added

value over sectoral policies acting in isolation.

The CEMAT guiding principles for spatial planning, agreed upon in 2000 and adopted by the Council

of Europe in 2002, identify a set of key principles for sustainable planning policy and key

recommendations for strengthening spatial planning. This document, which was clearly influenced by

the Torremolinos Charter and the ESDP, contains recommendations on issues such as horizontal

cooperation, vertical cooperation and public participation in the spatial planning process.

1.5 Spatial planning terminology

While it may be highly desirable to have a consistent and well-defined set of terms for spatial

planning, such terms are often very difficult to define, particularly in an international,

multidisciplinary and multilingual context. Richard H. Williams, a leading authority on European

spatial planning, contended that while various glossaries of planning terminology have been produced,

the defining of a universal and agreed upon set of terms is an exercise fraught with difficulties

(Williams, 1996: 60). The European Union (EU) Compendium of Spatial Planning Systems and

Policies recognizes that even some of the most basic terms can have quite different connotations in

different countries and regions (European Commission, 1997: 25). For example, a region can signify

an area or territory with a population of 5 million or more inhabitants, (as in the case of the German

Lnder or several regions in the United Kingdom) or an area with a population of less than half a

million (as in the case of Denmark, Finland or Ireland). The meaning of many terms is uniquely

defined in national laws, which may give the same words very different meanings across differentcountries. For example, the direct translation of the term lokalplanerfrom Danish to English is local

plans. However, the status and content of Danish lokalplaner and English local plans are quite

different.1

Consequently, this document does not contain a long list of spatial planning definitions and terms; it

tries to keep the use of technical planning terms to a minimum. A short description of the technical

terms relating to spatial planning that are included in this report can be found in the annex to this

publication.

1.6 Summary

A number of definitions of spatial planning exist and the scope of spatial planning differs greatly from

one country to another. Nevertheless, most spatial planning systems share a number of similarities.

Spatial planning is usually concerned with identifying long- or medium-term objectives and strategies

for territories and coordinating sectoral policies such as transport, agriculture and environment. The

system of spatial planning can help deliver economic, social as well as environmental benefits. Spatial

planning systems are being introduced or considered in a large number of UNECE member States. In

1 Danish lokalplanerare legally binding documents that set out regulations for the control of land use within a particular

neighbourhood, while in England, local plans do not contain binding regulations but provide guidance for decisions on

proposals for development and are prepared for the whole of the local planning authoritys area. Although these two sortsof plans share some characteristics, especially in the procedures of preparation, the EU Compendium of Spatial Planning

Systems and Policies concludes that they are fundamentally different types of instruments (European Commission, 1997:

25).



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all countries, however, there is substantial scope for further development and improvement. Spatial

planning is particularly important for countries in transition, since it can provide a way of managing

and steering development, thereby creating a more stable climate for development and investment.



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2. CHALLENGES AND GOALS FOR SPATIAL PLANNING

This chapter provides an overview of some key trends that pose important challenges for spatial

planning, focusing on some specific challenges for countries in transition. The chapter then sets out

some common requirements for spatial planning systems and overarching goals that should underlie

spatial planning methodologies.

2.1 Challenges for spatial planning

Four key challenges for human settlements are outlined in the UNECE Strategy for Sustainable

Quality of Life in Human Settlements in the Twenty-first Century (UNECE, 2000). These challenges

are globalization, sustainable development, European integration and market economy reforms, and

demographic change. All four pose important challenges to spatial planning and the development of

new spatial planning systems.

(i) Globalization

In recent years, a number of trends in globalization have profoundly changed the outlook for political,

economic and social development. These include:

The increasingly widespread acceptance of democratic institutions and market-based economicsystems;

The liberalization of trade and international capital flows;

The growth in the number and influence of transnational corporations;

Rapid technological innovations, in particular in information and communication technologies.

Such trends can profoundly affect the structure of communities. For example, they can contribute to

increasing internationalization of metropolitan regions in terms of capital and labour, changes in the

distribution of responsibilities between the public and the private sector, developing stronger roles for

major cities within a country, and lessen the polarization of social and economic standards within

cities. Globalization, reinforced by European integration, is intensifying competition among cities.

Large European cities are attracting labour resources and reorganizing economic and residential

activities. Technological change, particularly new information technologies, is favouring these cities

as centres of service, education, know-how and capital, as well as serving as gateways to international

markets.

(ii) Sustainable development

In the planning, building and management of human settlements, the concept of sustainable

development strengthens the need for:

Appropriate building technologies and ecologically sound designs;

Low energy consumption and promotion of renewable energy;

Selective and efficient use of resources, recycling;

Ecological principles to guide settlements development and land use;

Public participation in the decision-making process.



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Most countries in transition have adopted the concept of sustainable development and its challenges

and aim to implement Agenda 21 (see chapter 1). However, so far sustainable development policies

are rarely given high priority with respect to urban development programmes and practices. In some

countries, there are often conflicts at the municipal level between commercial development and

sustainable development, which are exacerbated by incomplete legal frameworks and underdeveloped

institutional structures.

(iii) European integration and market economy reforms

A number of UNECE countries have recently joined, or are in the process of joining, the EU. This has

strengthened trade relations between these countries and Western Europe and has enhanced the

situation of subregions that are geographically close to the west. However, there is still a noticeable

economic and social divide between the old and new EU Member States. In general, levels of

economic growth have recently been a little higher in new Member States than old ones, though a

substantial gap remains. The main reason for higher economic growth rates in new Member States is

that the initial starting point was dramatically lower than the economic conditions found in established

Member States. Industry, agriculture and the service sector have been undergoing massive

restructuring in many countries in transition. The general trend has been to increase service sector

employment at the expense of the agricultural and industrial sectors. This has led to changes in the

location of employment (e.g. from rural to urban), the types of employment available to local

residents, the travel patterns of employees, and the infrastructure needed to accommodate the new

centres of employment. These changes have had various effects on migration (see below). Contrary to

the general trend of economic growth, employment growth has generally been higher in old Member

States than in new Member States in recent years, although there are signs in the last year that this

could now be changing. Unemployment in the new Member States remains higher than in the old

Member States, with few signs of convergence yet to be shown.

(iv) Demographic change

In 1970, 63 per cent of the population of UNECE countries in Europe lived in urban areas. By 2000,

the figure was 72 per cent, and by 2030 it is forecast that 78 per cent of will live in urban areas

(United Nations, 2006). Thus, urbanization in UNECE countries in Europe is growing and is set to

increase further. In the case of Central and Eastern Europe, 68 per cent of the population lived in

urban areas in 2000; by 2030, the proportion of urban residents is forecast to be 74 per cent (United

Nations, op. cit.). Another key demographic trend in many UNECE countries in transition is the

overall decline in population, which has had profound effects on both urban and rural areas. For urban

areas, the total numbers of residents may not be increasing, but more people are living in suburbs and

fewer in the inner city. Thus, cities are spreading and facing increasing demands on existinginfrastructure such as transport, utilities and waste disposal. For rural areas, local public services are

being withdrawn, as there are fewer residents to cover the increased cost of provisions. Across almost

all UNECE countries, the number of households is increasing while the average household size is

falling. This means that the demand for housing is still increasing in some parts of Europe even though

the total population may not be. In addition, the populations in some countries have a higher rate of

aged people than others (e.g. Southern Europe), creating additional strains on local finance and service

provision.

2.2 Common requirements for spatial planning systems



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Many countries in transition in the UNECE region are still in the process of building a new

institutional framework for planning. Studies in the region have highlighted several common

requirements of the planning system in these countries (UNECE, 2003):

To achieve a greater mix of land uses and densities in the urban structure that provide a full rangeof urban functions housing, employment and services in a pattern which minimizes the need to

travel great distances to work, shop or conduct business. The efficient use of land needs to becompatible with the social well-being and healthy environment objectives.

To initiate urban regeneration in inner city areas and main streets with high density concentrationsof mixed employment, residential and other uses. These areas with adequate investment in

modernization and renovation of the existing stock and infrastructure can provide housing closer

to services and a wider range of lifestyle opportunities.

To enhance and support regeneration of housing estates through innovative financing,technological and regulatory initiatives, and demonstration projects. Focusing on elimination of

barriers towards investment will facilitate small-scale urban renewal through cooperative efforts

and self-help.

To enhance broad participation, improve community involvement and build support forsustainable planning policies and programmes; to promote community identity through creation ofmeeting places, public spaces, pedestrian networks, preservation of historic buildings and

attractive streetscapes.

To provide a range of cultural and recreational opportunities that correspond to diverse needsthrough efficient use of natural areas for passive recreation and cultural purposes; to maintain a

system of integrated and interconnected open spaces, parks, river valleys and waterfronts; to

protect the natural habitat and resources in these areas.

To provide water and sewerage infrastructure that accommodates the needs of the localcommunity, while meeting the healthy environment objectives; to undertake considerable

improvement of existing infrastructure in order to reduce the amount of untreated urban runoff and

waste water discharge; to increase the capacity of the existing infrastructure to accommodateurban growth and intensification.

To improve and expand the transport system to meet the challenges of readjustment in the urbaneconomy and to sustain the competitiveness of public transport. To maximize efficiency,

supplement conventional public transit with specialized services directed at specific market

segments; to promote energy efficiency and alternative modes of transport.

2.3 Overarching goals of spatial planning

As well as having clearly defined principles, responsibilities, procedures and instruments, spatial

planning should also have overarching goals. The UNECE strategy for sustainable quality of life inhuman settlements in the twenty-first century identifies five goals for promoting sustainable quality of

life (UNECE, 2000). These goals also provide a basis for identifying the overarching goals for spatial

planning:

To promote a system of meaningful and democratic governance that responds to the needs of localcommunities;

To improve urban environmental performance;

To facilitate social cohesion and security;

To promote market reform in the housing and urban sector;

To improve land and real estate markets and securing private rights in land.

2.4 Summary



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3. PRINCIPLES OF SPATIAL PLANNING

This chapter identifies the fundamental principles of spatial planning. Although there is no single ideal

model of spatial planning, there are some general, fundamental principles that underpin the detailed

framework of the law and policy of spatial planning. Six key principles that define the scope of spatial

planning are described in this chapter: the democratic principle, the subsidiarity principle, the

participation principle, the integration principle, the proportionality principle and the precautionary

principle.

3.1 The democratic principle

The democratic characteristics of spatial planning depend very much on the form of government in

which it is embedded. Good government corresponds to good planning. Spatial planning is a centrally

important government function, directly affecting the lives of all people. It is therefore particularly

important that planning decisions are made with legitimate authority by bodies that are accountablethrough democratic processes. In most countries, this means that decisions are formally taken by

elected politicians at different levels, taking into account recommendations made by relevant experts.

Their decisions should be made on a consistent basis through procedures established in law that ensure

fairness and respect of human rights. The judiciary provides a check that the law has been followed in

decision-making.

3.2 The subsidiarity principle

When appropriate, the decision-making process should be driven by local requirements. However, the

principle of subsidiarity acknowledges that it may be necessary for the decision to be made at higher

levels because the scale of the issue or objective being pursued cannot properly be addressed at thelocal level. For example, this would be the case for decisions made regarding major transport

infrastructure upgrades.

It may also be possible to argue that there will be net benefits from taking decisions at a higher level.

Many planning issues spill over from one locality to another, across municipalities, regions and

even countries. For example, the development of flood plains in one region may have implications for

another region. In these cases, there is an argument for ceding some parts of decision-making to a

higher level covering the larger area to avoid incoherent spatial development strategies. A rigid

allocation of competences should be avoided. In practice, the interconnectedness of decisions means

that competences will inevitably be shared between administrations and/or levels of government.

3.3 The participation principle

Spatial planning decisions have such a wide and direct impact that opportunities to participate in those

decisions should extend beyond the normal democratic process. Effective procedures for community

involvement will enhance the legitimacy of policy- and decision-making by creating a sense of local

ownership and ensuring consideration of citizens and property owners rights. The decision-making

process should be transparent so that all citizens are made aware of the reasoning behind decisions.

Citizens should have access to information about development proposals, plans and policies, as well

as to the officers and political committees which make such decisions. They should be able to

comment on proposals and if necessary make formal objections on draft plans and appeals againstplanning decisions. Those making proposals should be able to appeal to a higher authority on negative

decisions.



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3.4 The integration principle

Working in sectoral and geographical compartments is an efficient and effective way to govern, but

this creates significant costs of non-coordination that should be identified and addressed.

Contradictions and tensions between sectoral administrations have increased in the context ofderegulation and privatization. For example, there have been circumstances where agricultural policies

have led to undesired rural depopulation, thereby resulting in increased burdens on neighbouring

areas.

Spatial planning plays a critical role in facilitating policy coherence and integration through territorial

strategies.2

Integration between levels of government (jurisdictions) helps to create complementary

and mutually reinforcing policies and actions. Integration across policy sectors will mutually reinforce

positive benefits. Integration across administrative boundaries creates policy coherence and reduces

damaging competition across larger territories (Stead et al, 2004).

3.5 The proportionality principle

An enduring problem in managing spatial development is that of maintaining an appropriate balance

between commitment and flexibility in policy. Commitment in the form of robust, unambiguous

policies is of great benefit when encouraging development since it can contribute to creating certainty

and reducing risk for investors. It is also important for safeguarding finite resources such as high

quality agricultural land. On the other hand, spatial planning policy must also be flexible enough to

adapt to economic, social and technological trends as well as to stimulate innovation. The

proportionality principle helps facilitate judgements about where prescription should stop and more

discretion should be given to citizens, developers and local decision makers. The principle is that it is

not necessary to use a hammer to crack a nut, if a nutcracker will do. In other words, the meansmust be proportionate to the ends. Spatial planning must facilitate initiative and intuition rather than

simply adhering to overly prescriptive, and possibly ineffective, measures. Spatial planning should

also follow a minimalist approach, making it possible to prioritize the issues that need most urgent

attention. This means that in some cases, such as for the protection of vulnerable national

environmental assets, the use of rigid and non-negotiable directives is required. In most cases,

however, it will lead to an approach that allows for more flexibility in dealing with proposals which

may not have been anticipated but can meet the needs of the situation. In this scenario, criteria-based

policies become much more important than rigid zoning; planning policies will focus more on desired

outcomes; and, the criteria by which they will be judged rather than to try to dictate the solutions.

3.6 The precautionary principle

Where the potential damage caused by any development activity is serious or irreversible, the lack of

certainty about impacts should not be used as a reason for inappropriate policy decisions or the failure

to take corrective action. An example of this principle is shown by the international commitments that

accept that global warming is an authentic threat to the environment. Although scientists cannot yet

agree on how serious climate change will be, they do agree that the risks are significant and that it is

therefore wise to minimize the likely effects of climate change by making early decisions to limit

development in vulnerable areas. In situations where the environmental effects of development cannot

2 The European Council of Town Planners (2003) has identified similar objectives for various policy sectors which is a

good starting point for consideration of policy integration.



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be assessed because of lack of information or uncertainty, the precautionary approach should be

implemented in an effort to divert questionable developments elsewhere.



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4. ROLES AND RESPONSIBILITIES

This chapter considers the division and sharing of roles and responsibilities for spatial planning

between the national, regional and local levels. The intent of this section is not to be prescriptive about

the division of responsibilities, but rather to provide general guidance for appropriate methods of

decision-making. The chapter identifies a number of spatial planning tools and procedures that are

elaborated further in the following chapter.

4.1 The allocation of competences

The key principle is subsidiarity. Wherever possible, competences should rest with the lowest level of

government (see chapter 3). However, the allocation of competences will need to take into account the

capacity of different levels of government to take achieve the desired outcomes. This is particularly

important in the case of countries in transition (although by no means restricted to them) where new or

renewed forms of government are being created, and where the capacity of some institutions is stilllimited.

4.2 The national level

National governments, as well as state governments in some countries, take the lead in creating a

proactive and integrative spatial planning system that can encourage investment and facilitate more

sustainable development (Alterman, 2001; European Commission, 1997). This occurs primarily by

setting the right conditions for the operation of effective spatial planning at the regional and local

levels. Through constitutional or other law, national governments determine which competences can

be exercised and by which actors in government, by establishing a framework of planning tools and

procedures. The rigid allocation of competencies and definition of planning tools, however, canbecome an obstacle to effective spatial planning and sustainable development.

While there is a need for unambiguous allocation of competences, national governments should also

ensure that administrations cooperate and share competences to produce plans that are in conformity

with each other across geographical and sectoral boundaries. Governments need to establish consistent

minimum standards for planning and decision-making, but should also allow for variation so that

regional and local governments respond to their local circumstances and needs.

Governments should ensure that other bodies exercise their powers with respect to the principles of

spatial planning (discussed in chapter 3), and particularly that the rights of citizens, land and propertyowners are respected. All sectoral ministries need to be familiar with the spatial planning system in

place so that they can contribute to spatial policy development and participate in its delivery.

Governments should provide a procedure whereby they can consider appeals and arbitrate when there

are grievances against the actions of other bodies. They should also ensure that judiciary bodies can

play an independent role in determining the legality of spatial planning activity where necessary.

The role of national governments in spatial planning includes:

Promoting a shared strategic vision and establishing priority outcomes for spatial developmentthrough unambiguous policy statements, and the positive role that spatial planning plays in

achieving those outcomes;

Developing a legislative framework that enables the creation of spatial planning instruments andpolicy at different spatial scales through democratic and participatory procedures;



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Utilizing incentives and sanctions to ensure effective cooperation across sectors and administrativeboundaries as well as between levels of government;

Supervising spatial planning at the regional and local levels to ensure adherence to laws andprobity in procedures; promoting conformity of policies and actions among jurisdictions;

Monitoring spatial development trends and the impact of spatial planning, and making use of

indicators and targets; Taking the lead in providing the necessary evidence base of data and information on the state of

the spatial development and the impact of spatial planning;

Ensuring that other national ministries and departments understand the effects of their policies andactions on spatial development and the need for coordinated policy and action among all

departments when delivering priority spatial outcomes;

Supporting and advising regional and local governments and helping to build capacity at all levels,both in terms of professional expertise and political leadership;

Providing an appeals procedure whereby citizens and businesses can object to local and regionaldecisions, through arbitration, mediation and, if necessary, making binding decisions on

unresolved local cases; Managing and directly regulating issues of national and international significance in collaboration

with regions and local authorities, for example in relation to the designation of sites of national

significance that should be protected from development;

Creating national agencies to act as liaisons when working in partnership with regional and localgovernments on matters needing urgent and special attention, such as major reconstruction zones.

4.3 The regional (subnational) level

Regions vary considerably in size, but will usually cover large territories of relatively consistent

character such as travel to work areas, development corridors and river catchments in an effort to

address functional spatial development relationships in a consistent manner. The main tasks at the

regional level are to interpret and adapt national policies and priorities to regional conditions, to

provide a strategic plan which addresses the functional planning relationships and overall

development patterns, and to provide guidance and assistance to local authorities in the creation of

local planning instruments.

There are likely to be a number of strategies operating at the regional level, dealing with such matters

as economic development, environmental resources, sustainable development, rural development,

heritage, and culture and tourism. Regional government should use spatial planning as a tool to ensure

a measure of coherence and integration among these strategies. This will normally be done through an

integrated strategy that provides an analysis of the territorial impacts of all government policy and

encourages action promoting the complementarity of measures.

The role of regional government in spatial planning includes:

Preparing spatial strategies using 15- to 20-year projections for the overall development of theregion by collaborating with regional and local stakeholders;

Designating and protecting areas of critical natural capital such as recreational areas, waterresources and mineral resources;

Planning and delivery of regionally significant infrastructure that crosses local authorityboundaries;

Using appropriate environmental assessment and appraisal methodologies for regionallysignificant plans and projects;

Supervising local spatial planning to ensure conformity with national and regional strategies, andto ensure that decision-making procedures are followed;



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Ensuring that local authorities collaborate in their planning so that critical cross-cutting issues areaddressed (particularly on the urban-rural fringe) and the sensible planning of functional planning

areas such as river catchments is achieved;

Monitoring and providing information and analysis on regional spatial development trends fornational and local governments;

Assisting in capacity-building at the local level through guidance, training, and interpretation oflegislation;

Providing a means of appeal on contested matters and mediating disputes between localauthorities.

4.4 The local level

Most planning decisions can and should be made at the local level. Decisions should be made with

reference to policies established at national and regional levels and implemented using detailed plans

prepared and adopted at the local level. Local spatial planning instruments will usually be in the form

of frameworks and regulatory plans. Small local government units should collaborate on thepreparation of plans particularly to ensure sensible coverage of contiguous urban areas and to build

sufficient resource and skills. It is also crucial that local government works in partnership with

regional government to ensure conformity of local policies and decisions with regional strategies.

The role of local government in spatial planning will thus include:

Establishing the priorities for action on spatial development for the local area in partnership withlocal stakeholders and regional bodies;

Preparing a simple planning framework that identifies the main geographical areas of change, thepriority desired outcomes and planning policies, and also explaining the contribution that will be

made by different departments and sectors to realizing the desired outcomes; Preparing regulatory planning instruments setting out decision rules for the locality (these tasks

will often be done in collaboration with other authorities across larger territories);

Engaging with the community on the preparation of planning policies and proposals and ensuringthat local concerns are voiced in regional arenas;

Taking proactive measures to encourage development that is in accordance with the agreedplanning framework, for example in making effective use of land in public ownership;

Creating project partnerships across the public, private and community sectors to deliver specificproposals;

Rigorously enforcing strict adherence to planning procedures and dealing promptly withunauthorized developments;

Monitoring the implementation of policies and proposals, decision-making and spatialdevelopment trends affecting the locality.

4.5 Special agencies

In most countries, central or regional governments have created special agencies and given them

specific roles to address particular planning issues needing urgent and concentrated attention, such as

the development of new settlements or regeneration of old industrial zones. These organizations have

proved to be powerful agents of change. They are often given special powers of land acquisition,

development regulation and investment funding. This approach has not always been as effective as it

might because of the failure to engage local authorities and other stakeholders. The transfer ofcompetences may result in the loss of local political accountability and, therefore, long-term problems

regarding implementation in the communities areas where these authorities and stakeholders operate.



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Consideration should be given to the value of creating special agencies where local authorities lack the

capacity to address significant spatial development problems or opportunities. Such agencies need to

be bound by the same national and regional planning policies as other authorities. They should work

in partnership with regional and local stakeholders who should be represented on their managing

board.

4.6 Summary

Governments should apply the principle of subsidiarity in the allocation of competences and make

efforts to build the capacity of lower levels to take on spatial planning tasks. National governments

(including states in federal systems) must create the conditions for effective spatial planning at the

regional and local levels, including enacting framework legislation that provides an outline of

planning tools and procedures. The regional level will take the lead in the preparation of spatial

strategies in order to coordinate the impacts of sectoral policies. Local governments should have

primary responsibility for managing and regulating development within the policy framework, though

this may require that groups of authorities work collaboratively to cover functional areas and build

capacity.



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5. THE SYSTEM OF SPATIAL PLANNING

This chapter outlines the main instruments and tools at the disposal of spatial planning, including

laws, policies, guidance, procedures, incentives and sanctions. The chapter also considers a number of

supporting instruments and tools such as economic instruments, evidence and information, and

charging systems.

5.1 Planning tools

All countries need a minimum set of planning tools that enable effective and fair management of

spatial development on the basis of agreed criteria. In many countries previous approaches to planning

are now thought to be excessively detailed and prescriptive, choosing to use a top-down,

comprehensive approach that assumes an unrealistic degree of public control over private action.

These rigid plans are difficult to prepare and keep up to date. They need intensive inputs and inhibit

planning authorities responding appropriately to opportunities as they arise. Planning tools should fitthe purpose. The key is to achieve an appropriate balance between commitment and flexibility

knowing which needs must be addressed immediately and which needs could be met over a longer

timeline.

The tools must work in a complementary and consistent way to ensure both a proactive and

coordinated approach to managing development and fairness, accountability and transparency in the

decision-making process. It is particularly important that planning tools (plans) are considered

corporate documents owned by all sectors of government and rather than as an external imposition.

This means that they need to be prepared in an open and collaborative way.

5.2 The legal framework

Many countries have made fundamental reforms to the body of planning law over the last decade to

enable significant changes to the form and operation of their planning systems. For example, Ireland,

the Netherlands, Slovenia and the United Kingdom have all recently enacted significant changes to

planning law. However, in some countries planning statutes have not kept pace with the reality of

spatial development and the pressures on the system. The problem is not usually a lack of legislation

but rather that it is no longer relevant. The legal requirements for certain plans and procedures (which

are often ambitious) may be out of step with what is actually required, thereby resulting in a loss of

credibility for the spatial planning system and the subsequent diminishment of the value of planning

activities.

In some cases, reform of planning law has not been a high a priority. For example, where legislation

has concentrated on economic transformation or matters relating to EU accession, effective action on

spatial development at all levels has been severely hindered because the basic legal building blocks to

facilitate effective spatial planning are not in place. These would include provisions to require

cooperation among planning authorities and sectoral interests to ensure consistency in decision

making; conformity with national and regional plans; formal consultation with communities and

stakeholders in planning and decision-making; and environmental appraisal of plans and projects.

Where reform of planning law has taken place it has generally been targeted at shifting the focus of

planning from physical land use regulation to the integrative spatial planning approach. This shiftresults in:



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More effective coordination of sectoral actions that have a cross-sectoral spatial dimension (e.g.economic development, environment, agriculture, health);

More flexibility in the planning process, achieved by simplifying plans so that they give firmguidance for decision makers while allowing for inevitable uncertainties;

Greater responsibility for operating the system for authorities at the regional and local levels,

while ensuring conformity and adequate supervision; More effective participation by local communities and other stakeholders;

The ability of planning authorities to recoup a proportion of the financial gain from the allocationof development rights to private developers to pay for externality effects and provide local

community benefits;

The responsible consideration of environmental impacts of development, so that any adverseimpacts are mitigated and/or compensated for.

5.3 Decision-making process

The emphasis of this paper is that in an open, democratic and mixed market society, national andregional governments are not in a position of absolute authority. Policies and decisions should devolve

wherever possible and be made in a collaborative way with local stakeholders and investors.

Nonetheless, there are critical issues that need to be decided in a top-down manner, thus ensuring

decisive and unambiguous outcomes. This may be required to address an urgent issue, an issue of

international significance or unwanted speculative activity, or to bring an end to local controversy and

conflict. Examples might include the need to: protect an area of critical natural capital, take up a major

inward investment opportunity, protect heritage assets from speculative activities, or facilitate a

decision on a major energy infrastructure development. There will also be occasions when central,

top-down decisions are needed in the interests of fairness to all, such as in the case of imposing

common development land taxes across an entire country.

National and regional decisions of this kind need to be binding on all levels and with all actors, and to

follow a process that ensures accountability. These decisions should respect agreed policy statements

wherever possible and be accompanied by clear explanations when they do not. All levels of

government should be offered an opportunity to play a part in the decision-making process, e.g.

through consultation on major infrastructure projects, or through the opportunity to provide evidence

where appeals are being considered. Law and policy need to explain the criteria by which authorities

at the national level may intervene in regional and local decisions. Generally, central intervention in

decisions normally made at lower levels will be limited to matters of national and international

significance or issues of potential national controversy.

5.4 Policy statements

Unambiguous statements of national and regional policy play a critical role in effective integration of

actions among levels of government and between sectors. Policy statements should include a clear set

of general goals and principles for spatial planning. Most countries now make very firm statements at

the national level about overall goals for spatial development as well as the need to achieve a greater

degree of sustainable development. Such statements are linked to collectively agreed targets and

indicators (as discussed below).

Countries should produce national spatial development plans or perspectives that communicate and

elaborate upon national planning policies. The first step to preparing such a framework will be anational spatial development report that summarizes findings from monitoring and objective

research (see below). However, national policy frameworks require a high degree of capacity in



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government, an in-depth understanding of spatial development trends and their implications, and a

high degree of political consensus. Such frameworks should not take priority over the development of

regional strategies. A national perspective may then be built from the regional level upwards. All

countries should also have a national sustainable development framework; most countries have one in

place.

Detailed policies on spatial development matters can be helpful for creating a positive climate for

investment. These may cover varied subjects such as habitat protection, accessibility criteria for types

of development and design standards. Policy statements assist investors by establishing common

criteria for plan- and decision-making, thereby encouraging more consistent action. The private sector

welcomes clear, unambiguous criteria that can apply in all places to all interests and that indicate that

steps have been taken to ensure a level playing field for investors. Policy statements are especially

potent when produced through a process of consultation and dialogue, because this has a better chance

of garnering their widespread support and acceptance. Though consensus may be very difficult to

achieve, there is great benefit in employing a bottom-up as well as top-down approach to policy

development. Policy statements should be generally binding on all levels, but allow for some

discretion where there is good reason. When decisions contradictory to agreed policy statements are

made, these should be accompanied by rational explanations.

The form of expressing national goals and policies for spatial development requires careful

consideration. In some cases, policy statements are made through enacting laws. While in th

spatial planning.e

Documents